john g koeltl financial disclosure report for 2009

8/3/2019 John G Koeltl Financial Disclosure Report for 2009

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A O Z 0 I FINANCIAL DISCLOSURE REPORT ~ , p o r t R e q u i r e d b y t h e E t h i c sin Government Act o f 1978 Rev. ~ / 2 0 1 0 [ FOR CALENDAR YEAR 2009 (5 U.S=C. app . 101-111)1 . P e r s o n R e p n r l i n g ( ! ~ , s ~ n a m e , f i r s t, m i d d l e i n i t i a l ) 2. Court or Organization i 3 . D a t e o f R e p o r t

K n e l t | , J o h t ~ t G . U.S.D.C. Southern District-NY 0 . .~ , q C , N T V ~ T I 04 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a c l i v e o r s e n i o r s t a t u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6. Reporting Periodm a g i s t r a l e j u d g e s i n d i c a t e f a l l - o r p a r t - t i m e ) [ ] Nomina t ion . D a t e 0 1 / 0 1 1 2 0 0 9U.S. District Judge - Active g ~ initial ~ Annual ~ F i n a l to12/31/2009

5b. [] Amended Repo r t7. Chambers or Office Address 8. O~ the basis o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n y m o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c eUni ted Sta tes Cour thou se with app l icable l aws and regu la t ions .5Ofi Pearl St. Room 1 030New York,New York 10007-1581 Reviewing Officer D a l e

. l h lPORTA JVT N OTES : The i n s t ruc t i o n s a cco m p a n yi n g t h i s Jbrm m us t be f o l lo w ed . C o m p l e t e a l l p a r t s ,check ing the NONE box for each p ar t wher e you have no r ep or tabl e in for nut t ion . S ign on l as t page .

I . P O S I T I O N S . C R , ,o n i ,g i .a i ~ . a l o , ~ y ; ~ , ~ ~ p . 9 - t j of fitiag instructio,,s.)~-~] NONE (No reportable positions.) OF1 .2. GENERAL P~TNER PELFP.~ERS - ~ ~TA~ P~TNERSH~ (PASSIVE) - POS~IONTERMINATED AT END OE 200 9 UPON LIQUIDATION OF PARTNERSIllP

I I . A G R E E M E N T S . ( n , ~ o ~ i , , g individual only; sepp. 14-16 of J-a ing instruct i ,, , t s . )NONE (No reportable agreements.)

DATE PARTIES AND TERMS

3 .


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Iame of Person R eporting1

Date of ReportFINANCIAL DISCLOSURE R E P O R TPage 2 of 10 o s / ~ 0 / 2 0 a 0

I I 1 . N O N - IN V E S T M E N T I N C O M E . (Reporting individual and sp ..... ; seepp. 1 7-24 of f i l ing ins truct ions . )A. Filers Non-Inves tment Inco me

~l N O N E (N o r e po r t ab l e n o n - i n v e s t m e n t i n c o m e . )DATE ~CE AND TYPE INCOME

(y ou r s , n o t s p ou se s )1 . 2 0 0 9 PELF PARTNERS - BUSINESS INCOME (ESTIMATED - 2009 $0 . 0 0FINAL K-1 NOT YET AVAILABLE)2. 2009 NEW YORK UNIVERSITY - TEACH.[NG $2 0 , 0 0 0 . 0 03.

4.

B . S p o u s e s N o n - I n v e s tm e n t Income - tyyou were married during any portion of the reporting year, complete this section.(Dollar amott t l t trot required except for honoraria .)

N O N E (No reportable non-investment income.)DATE ~OURCE AND TYPE

2.

3.

4.

IV . REIM BURSEM ENTS - -( I n c l u d e s those to s f louse and dep endent c l ldren; vee p p 2~-27 or f i l ing in~uct ions~ N O N E (No reportable reimbursements.)

~ ~ LOCATION PURPOS~ !TgMS PAID OR PROVIDED1. ~wyers lbr C~vil Justice May5, 2~9 Washin~on, D C Spe~ng engagcmenl Transportation2.3.

4.5.


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F I N A N C I A L D I S C L O S U R E R E P O R T Name of Person R eportingI Date of ReportPage 3 of 10 Koelt l , John G. 05/10/2010

~ N O N E (No reportable gifts.)~ DESCRI~ION

1.2.3.4.5.

V L L I A B I L I T I E S . c t , ,~ e ~ , h o ~ . e o y , p . . . .. d dependent children; s~e p p . 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

CRED I T O R DESCRIPTION VALUE CODE

3.4.5.


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F I N A N C I A L D IS C L O S U R E R E P O R T N a = e o f ] ?e r s o n R e p o r t in g D a t e o f R e p o r tPage 4 of10 Koe l t l , .J ohn G. 0 5 1 1 0 / 2 0 1 0

V I I . INVESTMENTS and TRUSTS .- i ........ lu,, transactions (Includ,s those of sp ...... d dependent childr,n; see pp. 34-60 of filing instruction~ NONE (No reportable income, assets, or transactions.)...................... .........................~ .......... - K . . . . . . .. . .~" ""~ .......... i ............... -~ ................................

D e s c r i p ti o n o f A s s e k s i l i] c c , m e d u r i n g [ G r o s s v a l u e a t e o d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l a d i n g l r u , s ~ : a s : i t : i s ) i r e p o r l i ~ } . g p e r i o d I o f r e p o s i n g p e r i o di (I ) (2 ) (1) (2} (t) {2) (3) ~ (~) {5 )P l ~ c c " ( X ) " ~ f l e r c . ~ ] e h a s s e t i:Amuntcode 1y p e (e . g , , V a lu e V a l u e T y p ee x e m p l fr o m p r io r d i s c lo s u r e , i d i v . r e n t , C o d e 2 M e t h o d b u y , s e l l , m m ~ d ~ y y C o d e 2 , C o d e 1 b u y e r / s e l l e ] [( A - H ) or iat . ) i ( J P ) C o d e 3 ! r e d e m p t i o n ) ( J - P ) { A - H ) ( i fpr ivat :! { O - W ) i I r a n s a c t i o n ).................................... t .............................................................

I. JOHNSON & JOHNSON - COMMON D Dividend M T Donated( p r o )2. PFIZER INC. - COMMO N C Dividend L T

3. ROYAL DU TCH SHELL PLC - COMMON C Dividend L T4. AMERICAN GROWTIt FUND OF A Dividend L T Bu y 12/23/09 JAIvlERICA CL C - MUTUAL FUND ( add l )

! 5. FEDERATED KAUFMANN FUND CL C None L TMUTUAL FUND6. OPPENtlEIMER INTL BOND FUND CL D Dividend M T So ld 06/18/09 LC - MUTUAL FUND ( , p a r t )7 , OPPENH.EIM ER VALUE FUND CL C - A Dividend L T Sold 10~6 /09 JMUTUAL FUND (part)8 , Bu y 1 2 /0 4/0 9 J( add l )9 . OPPENHEIMER DEV, M ARKETS FUND A Divideed M T Bu y 06 / 18 / 09 LCL C - M [.VFIJAL FItND

10 . M ERRILL LYNCH CM A MONEY FUND A Dividend K T Bu y 12/31/09 J Net Increase To M M- N.Y,,N.Y. (addt) Fund1 1. N.Y. STATE DORM. AUTH. 5.3% B Interest Redeemed 0 7 / ( 1 1 / 0 9 K AMANIIATTANVILLE BOND DUE 7/1!0 912 . TRIBOR. BRIDGE & TUNNEL BOND B Interest Sold 03/12/09 K B6.625% DUE t /01/12!3 . fRlBOR. BRIDGE & TUNNEL BOND A Interest Sold 03/17 /09 K C5 . 5 % D U E 7 1 / 1 1 1 71 4. N.Y STATE SER G BOND 5% DUE A Interest Redeemed 11/16/09 K A08/01 /15

15. N.Y. STATE TRANS BOND 5% DUE A Interest Redeemed 0 5 / 0 4 / 1 Y ) K A05/01/1616 . N.Y, STATE SER C BOND 5% DUE B Interest Redeemed 08/17 /09 K A08/15/17 (pa rt)17 . Redeemed


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Ia m e o f P e r s o n R e p o ~ t in g[

D a t e o f R e p o r ~FINANCIAL D IS CL O SU R E R E PO R TPage 5 of 1 0V I I . I N V E S T M E N T S a n d T R U S T S --,,,to .... 1 . , e , transaction s ( Includes those of sp ....... d dep en den t ch i l dren ; s eep p . 3 4 . ~0 o f f i li n g i n s t r ,c ti o n s . )

N O N E ( N o r e p o r t a b l e i n c o m e , a s s e ts , o r t r a n s a c t i o n s . )D e s c r i p t i o ~ o f A s s e t s Income during ! G r o s s v a l u e a t c a d I T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d[ ( i n c l u d i n g t r u s t a s s e t s ) } r e p o r t i a g p e r i o d_ ~ : . ~frepor t ingper iod .[

i Am oun t Ty pe ( e g [ Va l ue Va l ue Ty pe ( e g Da t e Va l ue Ga n I d e a t y o fl a c e " ( X ) " h a s s e t .C od e l d i v . , r e n t , ] Code2 ~ M e th o d I buy, sell. [mm/dd!yy !Code2 i Codc l i b u y e f f s e l l e rj_ I (Q-W ) [ I i [ I ...... t i o n )

1 8 . N.Y. STATE M TG AGY BOND SER 80 C Interest L T5.10% DUE 10/01/1 719 . NY NY TRANS FIN ATRV FUT B BOND B Interest J T Redeemed 09/28/09 K4.75% DUE 11/15/23 (part)

2 0 . TR[BOR. BRIDGE &TUNNEL BOND B Interest Sold 03/13/09 L D5.25% DUE 01/01/282 1 . N.Y. STATE URBAN DEV BOND 5.25% A Interest Redeemed 01 / 02 / 09 K ADOE 01/01 /152 2 . N.Y. STATE ENGY RESH BOND 5.5% C hlterest L TDUE 01/01 /212 3 . N.Y. STATE MTG ACGY REV BOND C Interest L T5.05% DUE 10i01/172 4 . NY NY CY TRANSITNL BOND 5% DUE B Interest K T05/01/252 5 . N.Y. STATE SER H BOND 5.125% DUE B Interest J T Redeemed 11/16/09 K0 8 1 0 1 / 2 5 (part)26 . NY NY TRANSITNLAT BOND 5% DUE A Interest J T Redeemed 09 / 28 / 09 J A05/0~/~6 (part)

2 7 . N.Y. CITY MUN W FA BOND 5% DUE B Interest Redeemed 12/15/09 L B0 6 , 1 5 / 2 72 8 . N.Y. CITY M UN WTR BOND 5% DUE C Interest L T06/15/292 9 . NY CITY IDA BOND 5% DUE 06/01 /22 C Interest Sold ! 0 7 / 3 1 / 0 9 L3 0 . NEW Y ORK NY TCRS BOND 5% DUE B Interest J T Redeemed 11/16/09 K A03 / I 5 / 2 9 (part)3 1 . NY CITY CY TRANS BOND 5% DUE B Interest K T Sold 01/22 /09 J A0 5 / 0 1 t 3 1 (part)3 2 . N.Y STATE SER C BOND ~,.4% DUE B I n t e r e s t K T04/15/213 3 . N.Y. STATE NY SERF BOND 5.3% DUE B Interest K T Sokl 01~.2/09 K C01/15/26 ( . p a r t )~ . 1 ,4. N.Y. STATE DORM. AUTH . 4.75% R E V B Interest K TJOHNS BOND DUE 07/01/2 8

1 Income Gain Car ies: A ~$ 1.0IX) ot less B =$1 ,0 t11 - $2 ,500 C =$2 .50 1 - $5,0 0 0 D =$5,0(11 - 515,000 n =$15.011 1 - SSO, iN


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N a m e o f P e r s o n R e p o r t in g ] D a t e o f R e p o r tF I N A N C I A L D IS C L O S U R E R E P O R T~ : o ~ l t l , j o b . ~ .

[ o 5 / 1 0 / 2 m oa g e 6 o f 1 0

VII. INVESTMENTS and TRUSTS .. i,~ . . . . . . . lue, transactions (Includes those of sp ..... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 4 0 o f f i li n g i n s t r u c t i o n s .)~ NONE (No reportable h~come, assets, or transactions.). . . . . . . . . . . . . . . . . . . . . . . ; , ~ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ~ .....~ i . . . . . . . . . . . . . . . . . . . . . . . . . . . E ........! ..........................~. .....................

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G ro s s v a l u e a t c u d [ T r a n s a c t i c . n s d u r i n g r e p o r t i n g p e r i o d(inc luding trus t . . .. is ) i r epor t i ng pe r i od ~ of repor t ing per iod ~"-~ "-" (li ...... 7--"(2J ............. (5 )~-~i)---[ . . . . . . . . .1~~-2~j--[~.2)- .......! i 3 j . . . . ..i43-- ....P l a c e " ( X ) " a f t e r e a c h a s s e t Amounl Type (e.g., Value Value , T y p e ( e . g . . I Da te Value G a i n I d e n t i t y o fe x e m p t ~ o m p r i o r d i s c l o s u r e ! Code 1 idiv . , rent , i Code 2 I Method b u y , s e l l , m r m ~ d & y y ( ; o d e 2 Code t b u y e r / s e l l e ri (AH) ! o r i n t . ) ! (JP) I Code3 ! r e d e m p t i o n ) ! ( J - P ) I(A-H) ( i f p r i v a t e, i i ! ( O - W ) i ~ t r a n s a c t i o o )3 5 . TRtBOR. BRIDGE & TUt~IEL BOND 5%! B [nteresl L TDUE 11/1 5/323 6 . r e ," N Y " Z a A ~ S iT ~ L ~ IN A U m B O N D C I n t e r e s t r ~ T aedeemea [ 0 5 / 0 4 / 0 9 J4 . 7 5 % D U E 0 5 / 0 1 /9 . 2 3 ( p a r t )

Redeemed !09/28/09 K7 . ~ a ~ t )3 8 . NY NY CY TR.ANSTNL FIN ATRV B l n tc res t L TBOND 5% DUE 02/01 /333 9 . SUbFOLK CTY BOND 4.125% DUE B Interest L T1 1 / 0 1 / 2 14 0 . DUTCHESS CI-Y BOND 4.5% DUE B Interest K T08/01/264 1 . ST. LAWRENCE CTY BOND 4.25% DUE B Interest K T0 5 / 1 5 / 2 84 2 . NE~/YORK ST LCL GOVT BOND 4% B l n teres t Sold 07/30/09 K BDUE 04/01/214 3 . NE~,V YORK NY SUBSER SER I-1 4.12 5% C Interest L TD U E 02/I)1/234 4 . NY ST DORM AT RV ST BOND 5% DUE B I n t e r e s t L T02/15/244 5 . EAST tIAMPTON NY BOND 4% DUE B Interest K T06/15/254 6 . NY ST DORM AT RV ST BOND 5% DUE B Interest L T02/15/27

4 7 . NEW Y ORK ST URBAN DEV BOND B h t t e r e s t L T4.25% DUE 03/15/274 8 . NEW Y ORK ST HFA PERS INC BoND B lmerest K T5% DUE 09115/304 9 . NEW Y ORK NY SUBSER SER C-I BONI; A Interest K T Bu y 04/27 /09 K4.5% DUE 10/0112 35 0 . N.Y. STATE DORM. AUTH. REV MEM A Interest K T Bu y 01/22 / 09 KSLOAN BOND 5% DUE 07 /01/2 65 1 . TRIBOR. BRIDGE & TUNNEL BOND B [ Interest L T Bu y 03/13/09 K4.75% DUE 11/15/30


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FINANCIAL D ISCLOSURE R EPORT N ~ m ~ o f P e r s o n R e p o r t i n g D a t e o f R e p o r tPage 7 of 1 0 ~ : . ~ l tI , J o h ~ ~ . o 5 / ~ o / 2 0 1 o

V I I . I N V E S T M E N T S a n d T R U S T S - - i n c o m . , r o t . . , , .. . ,. c n o . $ ( t n a , , a ~ . , h o t . of . .o~. . .d a.~. .~. . , .h.~; ~ . . . ~. 34 ~0 t filing in~tructiot, s.)~ NONE (No reportab& income, assets, or transactions.)........................ ~ ................ I .... ~. " ............... "~ .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . % .Descr ipOon of ,~ ls I n c o m e d u r i n g G r o s s v a l u e a t e n d Tr~sact io~ dar ing repo r t ing per iod(inc luding trus t . . .. ls ) r e p o s i n g p e r i o d o f r e p o g i ~ g . . . . . ..period~g ........ .

. . . .. pt f rom prio rdisc l . . . . . ,C~el dl . . . . . . t , Cod e2 ~ Me thod ~ b a y , s e l l ,~ ( A - t l ) o r i n t . ) ( J - P ) [ Code 3 ~ e d e m p t i o n ) (J-P) (A-It) ( i f p r i v a t e(Q-W)

5 2 . NEW YO~ NY S UBS ER J - i BO~ 5% A Interest L T Bu y 06~4 /09 LD~ 05 / 15 / 3 I5 3 . -TRIBOR. BRIDGE&-- TU~ELBOND 5% B Interest K T Bu y 01/08 / 09 KDUE 11/1 5/325 4 . N.Y . CITY M ~ ~R BOND 5% DUE B lntcrest L T Bu y 03/12 /09 L06/15/345 5 . N.Y, CF~ MU~ ~ BO~ 4.75% DUE A l n tercs l L T Bu y 09/21 / 09 L06/15/365 6 . N.Y. C~Y M UN ~N BOND 4.75% DUE B Inlerest L T Bu y 07/30/09 L06/15/375 7 . TRIBOR. BRIDGE & 3 ~I~L BOND 5% A Interest L T Bu y 0 7~0 / 0 9 LDUE 11/1 5/375 8 . N,Y. CITY ~UN ~R BOND 5% DUE A Interest L T Bu y 09/08 / 09 L06/15,385 9 . N.Y. STATE HSG FIN AGY BOND 4.9% None K T Bu y 11/02 /09 LDUE 11/01 /386 0 . N.Y. CI~ MUN A~ BO~ 4.5% DUE None L T Bu y 12 / 09 / 09 L0 6 / ! 5 / 3 96 1 . CITIB~K CH ECKING ACCOU~ - None J TN.Y.,N.Y.6 2 . M ERRILL L~CH (IRA ACCOU~ - A Dividend J TA~RIC~ CAPITAL G& I FUND CL C6 3 . ~RR1LL LYNCH (1~ ROLLO~R)- C Interest M TM L BANK CASH ACCOUNT6 4 . M ERRILL LYNCtl (IRA ROLLOVER) - B Dividend M TAIM INI~L FUND6 5 . ~LL LYNCH (I~ ROLLOk~R) - None L TALGER CAP. APP~C. FUND CL A

6 6 . ~R~LL L~CH (IRA ROLLOVER)- None So ld 03 /17 / 09 LDAVIS NY VEN~ FUND CL A6 7 . M ERR~L LYNCH (1~ ROLLO~R) - A D~vidend M T Bu y 1 2 ~8 /09 JP~NAM ~L CAP OPP ~ CLA ( add l )6 8 . N~R~LL L~CH(I~ SoldROLLOVER)-~R. C~ ~C B~LDERFUND CI, B


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N a m e o f P e r s o n R e p o r t in gFINANCIAL D I S C L O S U R E R E P O R T[ Koe l t l , John G.

05/10/2010a g e 8 o f 1 0V I I . I N V E S T M E N T S a n d T R U S T S -- i ......... h , , , , . . . . . . i o , , s a t t c ludes those of sp . . . . . . d dependent ch i ldren; see pp . 34 - 6 0 of f i l ing ins t ruc t ions . )

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s h l c o m e d u r i n g [ G r o s s v a l u e a t e n d T r a n s a c t i o c , s d u r i n g r e p o r t i n g p e f o d( i n c l u d i n g l r u s t a s s e t s ) r e p o r t in g p e r i o d j o f r e p t ~ a i n g p e r i o d: (iS-- (2) ! (1) ! {2) -(1~ ..... ( 2 ) V ( a 3 l ) u . . . . . .. . . . . .. . . . .. . . .Value T y p e ( e . g . , D a t eC o d e % _ C o d e i

I d e n t i i y o fe x e m p l f r o m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t , C o d e 2 M e t be ~ l buy, sell, m m Y d d / y y b u y e r l s e l l e r! (A - H ) orin, .) , ( J - P ) Code3 r e d e m p t i o n )~ ~

( i f p r i v a t et r a n s a c t i o n )

6 9 . IvlERR!LL LYNCH(IRA D Divide~,d M T Bu y 01 / 13 / 09 KROLLOVER)-AM EIL CAP INC BLDR (add l )FLrNI) CL A7 0 . NIERRILL LYNCH (IRA ROLLOVER) - A Dividend L TNIFS VALUE F1!ND CL C7 1 . M ERRILL LYNCH (IRA ROLLOVER) - A Dividend L T Bu y 12/23/09AM ER. GWTH FUND OF AMER CL C (a dd l )7 2 . /VIERRILL LYNCH (IRA ROLLOVER) - None L TFED. KAUFMANN FUND CL C7 3 . M ERR!LL LYNCI~I (IRA ROLLOVER) - A Dividend L T Bu y 12/15/09OPPENI-LEIMER SELECT V ALUE FUND ( add l )7 4 . M ERRILL LYNCH (IRA ROLLOVER) - A Dividend M T Bu y 12/04/09OPPENHEIMER VALUE FUND CL C (add l )7 5 . MERRILL LYNCH(IRA ROLLOVER)- C17: A Interest Redeemed 0 1 / ( 1 8 / 0 9 KW ILMINGTON TRUST CO 2.5%7 6 . M E R R I L L LYNCH (IRA ROLLOVER)- None L TM AINSTAY LARGE CAP FUND CL C7 % M ERRILL LYNCH (IRA ROLLOVER)- None L T Bu y 08/25/09 K

. ALGER CAP APPREC FUND CL C (a dd l )7 8 . M ERRILL LYNCH (IRA ROLLOVER)- D Dividend M T Bu y 0 3 / 1 7 ; { B 9 MLOOM IS SAYLES INV BOND FD CL C7 9 . MERRILL LYNCH(IRA ROLLOVER)~ C Dividend L T Bu y 06 / 2 2 / 09 KPIMCO COMM RR STRATEGY FD CL Cg0 . PELF PARTNERS - GENERAL None Sold 1 2 / 3 1 / 0 ! ) K E I N V E S q a M E N q ~ -PARINERSHI! INTEREST LIQUIDATED8 1 . US TREAsuRY DIRE~r- US A Interest J T SEE PARTVll lTREASURY NOTES COMMENT8 2 . ItSBC BANK - MONEY M ARKET A Interest J T SEE PART VIIIACCTS.- BUFFALO,N . y . (X ) C O M I v lE . .N T8 3 .


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FINA NC IA L D IS C LOS URE RE P OR T n a m e o f P e r s o a R e p o r t in g [ Date of ReportPage 9 of 10 Koelt l , John G./

05/10/2010

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. ~dic~,po~ olnepo,.)PART VII - COMM ENTS

I) INVESTMENTS REPORTED ON LINES 81 AND 82 RELATE TO A TRE ASURY NOTE ACCOUNT A~ND A CASH ACCOUNT HELD AT A BANK ON_WH!Cft I~AM NAMED CO-OWNNER AS A CONVENIENCE TO HER. THE ACCOUNTS WERE FUNDED COIVfPLETELY BY~AND ALL EARNINGS ON THESE ~C~O~ ARE REPORTED BY HER. DUE TO MY LISTED OW NERSItlP I AM REPORTING"T/~ ACCOUNTS AND INCOME AT TI-IE TOTAL VALUE_ TKE TREASURY NOTE ACCOUNT (LINE 81 O~ ~00~ REPORT) WAS LISTED ON TI-[EPRIOR YEARS REPORT (LINE 84 ON 2 00 8 REPORT) AS BEING REDEEMED IN FULL DURING 2 00 8 AND NO Y EAR END VALUE WAS LISTED INCOLUMN 2 C". THE TREASURY ACCOUNT DID IN FACI" STILL HOLD SOM E TREASURY NOTES AT THE END OF 2 008 A ND A VALUE CODE OF"J" SH OULD HAV E BEEN LISTED ON TH E 200 8 REPORT UNDER COLUMN C (1). THE REMAINING CASH ACCOUNT (LINE 82 ON TIlE 200 9REPORT) W AS DENOTED WITH PARENTHETICAL (Y) ON TKE 2 00 8 REPORT AS THE. ACCOUNT HAD FALLEN BELOW THE REPORTINGTHRESHOLD AMOUNTS FOR 200 8. CORRESPONDINGLY, NO YEAR END VALUE W AS LISTED IN COLUMN "C" OF THE 2 008 REPORT (LINE 86ON 200 8 REPORT). DURING 2009 , TtlIS CASH ACCOUNT 1LAS EXCEEDED THE MINIMUM REPORTING TI IRESHOLDS AND TI IECORRESPONDING VALUE HAS BEEN REPORTED IN COLUIVIN "C" OF TH E 20 09 REPORT. TIlE ACCOUNT HAS BEEN DENOTED WITH APARENTt[ETI CAL (X).


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Name o f Person Repo rting Dale o f Repo rtPage FINANCIAL10 o f 10 D I S C L O S U R E R E P O R T K o ~ m , J o h n ~ . osimi20m

IX. CERTIFICATION.I ce rt i fy tha t a l l i n fo rma t i on g iven above ( i nc lud ing i n fo rma t i on p e r t a i n i ng t o my spouse a nd min o r o r depen den t ch i ld ren , i f a ny) isa ccu ra t e , t r ue , a nd comp le te to the be s t o f my know ledge a nd be l i ef , a nd tha t a ny i n fo rma t i on no t re po r t e d w a s wi thhe ld because i t me t a pp l i c able s t a t u t o ryp rov i s i ons pe rm i t t i ng non-d i sc losu re .I f u~he r ce r ti fy tha t e a rned i ncome f rom ou t s i de employmen t a nd h ono ra r i a a n d the a ccep t a nce o f g i f t s which have been re po r t e d a re i ncompl i ance w i t h t he p rov i s i ons o f 5 U.S.C. app . 501 e t . seq . , 5 U.S.C. 7"353 , and Jud i c i a l Confe rence r egu l a t i ons .

Sign

NOTE: .4aNY INDI~,q[DUAL WH O KNOW INGLY AND W ILFULLYAND CRIS~INAL SAN~VI~IONS (5 U.S.C. ap p. 1~)4)

FILING INSTRUCSFIONSM a i ] si g n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

Commi t tee on F inanc i ,d Disc losu reAdmin i s t r a t ive Off i ce o f the Uni ted S ta te s Cour t sS u i t e 2 - 3 0 tOne Co lu mbus C i r c l e, N .E.W ash i n g t o n , D .C . 2 0544

john g koeltl financial disclosure report for 2009

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